S U P P L E M E N T A L T R A I N I N G G U I D E : W O R K F L O W A N D R O U T I N G

Kuali Coeus Workflow and Routing

OFFICE OF RESEARCH ADMINISTRATION

LAST MODIFIED: NOvEMbER 24, 2015

Kual i Coeus Work f low and Rout ing

Kuali Coeus Workflow and Routing

ProposalRoutingand ApprovalPath

Proposal Completed & SubmittedInto Routing

PI/Co-PI Certification and Approval

UnitLevel Workgroup

(i.e.,Department)

School Level Workgroup (i.e.,Dean)

OSP (i.e.,ORA)

I. Whatis‘Workflow’in KualiCoeus? In Kuali Coeus (KC) proposal and budget data are encapsulated within an eDoc (e.g., a Proposal Development Document). by definitiontheKCWorkflowmovesproposaldevelopmenteDocsfromoneplacetoanother;requestingactionsrelatedtothe document along the way. This moving of eDocs creates an electronic trail and provides transparency as the system allows users (with appropriate permissions) to interact with, view, and/or approve or disapprove the document.

KeyKCWorkflowfeaturesare:

1. WorkflowActionList(theuser’sworklist)

2. Doc Search (document lookup)

3. Route Log (the document audit trail)

4. Emailnotifications

II. Whatis‘Routing’inKualiCoeus? RoutingintheKCsystemistheorderinwhichthedocumentmovesthroughtheworkflow.InKCeveryeDocbelongstoanIUlead unit and routing can be customized to individuals or workgroups. This type of routing takes advantage of the IU Chart of Accounts Organization hierarchy.

KCRuleAttributestellthesystemhowtofinddatawithintheproposaldevelopmentdocumenttobeusedinmakingcertainrouting decisions.Forexample,whentheleadunitisBL-BI(Biology):route topersonXforapproval;thentothenextpersonidentifiedinthe BL-BIroutechain;thentotheIUBGrantServicesOffice,andsoon.

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Kual i Coeus Work f low and Rout ing

III. Indiana UniversityRoutingandWorkflowBusinessRulesin KualiCoeus IngeneraltermsthefollowingbusinessrulesapplytoroutingandworkflowofKCdocuments:

1. The Principal Investigator and Co-Principal Investigator, and their respective Unit(s) Level Workgroup(s) are always captured in the workflow.AKeyPersonandtheirrespectiveUnitLevelworkgroup(s)maybeoptedintotheworkflow;

a. TheentireProposalDevelopmentmaybemodifiedbyanyoneintheroutechainuntiltheProposalDevelopmentDocument is submitted into routing. Once a Proposal Development Document is submitted to routing the Proposal and budget data canonlybeeditedbyGrantServicesstaff.AttachmentsmaybeeditedbyanyoneintheworkflowuntiltheProposal Development Document is fully approved or submitted to sponsor.

b. IfaproposalisalteredintheWorkflowupsteamuserswillnotbeinformedthatachangehasoccurred.Theuserwho alteredanitemcanaddanotetodescribethechange.Thesystemdoesnottriggeranotificationtousers.

2. Once Grant Services staff approves or submits the document then the document is locked down and no additional changes are allowed.

3. Only Grant Services staff may copy or change the budget document once the Proposal has routed.

4. IfmultipleUnitsorSchoolsareidentifiedintheproposaldevelopmentdocument,respectiveUnitandSchoolLevelWorkgroup routechainsareautomaticallybroughtintotheworkflow.

5. AllUnitandSchoolLevelWorkgroupsarepre-identifiedandroutetodesignatedUnitandSchoolLevelWorkgroupapprovers.

6. All approvals at parallel levels in the route chain (i.e., multiple Units or Schools) must be executed before the document moves forward.

7. ExceptionRoutingmaybeestablished-agroupofuserswillreceiveanactionrequestforthedocumentifthereisaproblemwith the routing and the document is placed in exception routing status.

IV. WhatistheRouteLoginKualiCoeus? InKualiCoeusthesystembuildsaRoute LogoncetheLeadUnitisidentified.AsKeyPersonnel(PrincipalInvestigator;Co-Principal Investigator) are added to the Proposal Development Document, the system automatically adds their Unit-Level and School-Level routing chain. The Initiator of the Proposal Development Document has the option of opting Key Persons into the route chain and the certification questions.

BelowisascreenshotoftheRouteLogcreatedwhenBL-BIistheleadUnit;theco-investigatorisinBL-BUS;andtheBiostatistics Recharge Center at the School of Medicine is being utilized. In the instance of multiple units or schools involvement in a proposal developmentdocumentbothoftheIUBandIUPUIGrantServicesOfficesmustapprovethedocument.TheGrantServicesOfficetied to the Lead Unit has the responsibility to submit the proposal to the sponsor.

The term‘ParallelRouting’referstoaninstancewheremultipleunits/schoolsareidentifiedintheproposaldevelopmentdocument. Kuali Coeus will route to each unit in parallel until there is a missing dependency. The document will not route to the Grant Services officeuntilallSchoollevelapprovalshavebeenmade.

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Kuali Coeus Workflow and Routing

Kual i Coeus Work f low and Rout ing

RouteLog

V. WhatisAdHocRoutingin KualiCoeus? Ad Hoc Recipients may be added to the Route Log as FYI or Approve status. Approvers inserted into the routing “interrupt” the routing chain, and the additional of Ad Hocs may hold up the routing depending upon where the Ad Hoc is located in the approval hierarchy. To determine the best permission to select when Ad Hoc routing ask if you need to add individuals into routing to view or approve? A person can be added via the Permissions Tab to view a proposal. Remember, Ad Hoc approvers must approve before the document can move forward.

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Kuali Coeus Workflow and Routing

Kual i Coeus Work f low and Rout ing

AdHocRecipientsPanel

VI. WhatTypeofWorkflowActionsOccurinKualiCoeus? Workflowwillemailusersactionrequestsofvarioustypes.Theserequestsarecollectedintheuser’sWorkflowActionList.The Kuali Coeus system will notify users by email when they have an item awaiting their attention in their Action List.

a. PI/Co-PI Approve or Disapprove Action view:

i. ThePIand/orCo-PImustanswerthecertificationquestionsand clickApprovetomovetheeDoctothenextlevelinthe routingchain.Thesequestionsmayvarydependingonthedetailsofyourproposal.Themostcommoncertification questionsaredisplayedbelow.Note:ifaPIorCo-PIistheinitiatortheymustanswertheirCertificationQuestionsinthe proposal development document before submitting the document to routing.

ii. AKeyPersonwillnotreceiveanemailnotificationtoapproveaproposaldevelopmentdocumentbecauseKeyPersons are not considered approvers in the route chain. If opted in Key Persons must go to the Key Personnel Tab to answer the certificationquestionsbeforetheproposalisrouted.ExamplesofaKeyPersoninclude:Post-Doc;Consultant;and/or individualshavingasignificantroleorimpactontheproject,etc.

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Kuali Coeus Workflow and Routing

Kual i Coeus Work f low and Rout ing

PI/Co-PIApproveorDisapproveView

b. Department Chair, Dean, or Director (or delegate) Approve or Disapprove Action view:

i. The Department Chair, Dean, or Director (or delegate) will see the information presented below and offered the option to ApproveorDisapprovetheproposaldevelopmentdocument;

ii. NotethatapproversatthislevelwillnotseehowthePIand/orCo-PIansweredtheCertificationQuestions.

iii. by clicking on the Approve button the proposal development document will advance in routing to the next step.

iv. Disapprove:Requestsforapprovalcanbedisapproved,indicatingthetransactionisincorrectorunacceptable.Disapproved transactions cease further routing. The document initiator and any previous approvers receive an Acknowledgement action request,lettingthemknowthedocumenthasbeendisapproved.Disapproveddocumentscanbecopied(bytheInitiator) and used as the basis for future documents. The person who disapproves the document can add a note indicating reason/justificationfordisapproval.

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Kuali Coeus Workflow and Routing

Kual i Coeus Work f low and Rout ing

DepartmentChair,Dean,or DirectorApproveorDisapproveView

VII. WorkflowDelegates: 1. Approverscandelegateapprovalauthoritytootherusersbasedonattributesofaspecifictransactionsuchasdocumenttype

and/or dollar amount.

2. Delegatescanapprovedocumentsatthelevelofroutingasifthereweretheapprover;

3. If a delegate is assigned the approver can access the document for which they are responsible.

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Kuali Coeus Workflow and Routing